Compliance Advertising Analyst Job at Advisors Excel in Topeka

Position : Compliance Advertising Analyst

Department : Compliance

Reporting to : Compliance Director

Location : Topeka, KS or Lenexa, KS - Onsite

Overview :

Advisors Excel is constantly on the lookout for experienced and knowledgeable Compliance Advertising professionals to join our team. This job posting is thoughtfully designed to provide an ongoing opportunity for exceptional individuals with specific skills to express their interest.

As a Compliance Advertising Analyst, you will play a critical role in ensuring that all advertising and promotional materials meet regulatory requirements. You will provide high-level support to both internal teams and external partners, including insurance producers and investment advisors, guiding them through the advertising approval process.

We are looking for candidates with financial services knowledge who are detail-orientated, flexible, quick on their feet and excited about problem solving.

What you'll do :

• Conduct comprehensive reviews and analysis of advertising communications, promotional materials, consumer marketing content, sales trainings, and seminar programs to ensure full compliance with state and federal regulations
• Assess marketing materials critically, identifying potential risks while ensuring alignment with industry regulations and best practices
• Provide clear and constructive compliance-related feedback to advisors and their staff, communicating necessary revisions via email and phone in a professional and timely manner
• Gain an understanding of the advisor sales process to assist in the creation and development of marketing collateral and programs that enhance overall effectiveness and adherence to compliance standards
• Support Investment Adviser Representative (IAR) supervision and onboarding processes to ensure compliance from the start of each engagement
• Share key compliance updates and project-related information with internal teams to ensure alignment and a smooth review process
• Maintain accurate records and track project status through internal databases, clearly documenting the progress and completion of marketing material reviews
• Stay current on evolving industry regulations, guidelines, and compliance requirements to ensure ongoing adherence and provide expert guidance to internal and external stakeholders

Experience you'll bring :

Bonus Points :

What you'll get :

Who We Are :

Advisors Excel is a fast paced, innovative company that seeks to service independent financial advisors in a multitude of areas within their business. From operational functions, to sales and marketing, our end goal is to help continually grow advisors' businesses nationwide. We thrive on watching them succeed. Not only does AE want to see the success of our advisors, but also our employees. We have high expectations from them to continually move our business forward. We are on the hunt for positive people who thrive on hard work and in a collaborative team environment. If this sounds like you, then what are you waiting for? We want you to join our team!

Advisors Excel is an Equal Employment Opportunity Employer. Everyone is welcome here - as an inclusive workplace, our employees are always comfortable bringing their true selves to our offices daily.

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